HomeMy WebLinkAbout24-2256RESOLUTiON NO. 24-2256
A RESOLUTION OF THE CITY OF DENTON ADOPTING A NEW POLICY NO. 109.05
“COMPLAINT REVIEW, INVESTIGATION, AND CORRECTIVE ACTiON AGAINST CITY
COUNCIL APPO[NTEES’' AS A PERSONNEL POLICY FOR THE ORGANIZATION AND
INCLUDING IT IN THE CITY OF DENTON POLICIES AND PROCEDURES; AND
DECLARING AN EFFECTIVE DATE.
WHEREAS, the City of Denton is committed to fostering, cultivating, and preserving a
culture of inclusion, and belonging, and ensuring quality operations and services; and
WHEREAS, the City of Denton is committed to maintaining the highest standards of
conduct for all employees, including those appointed by the City Council, which include the City
Attorney, City Manager, internal Auditor, Municipal Judge, and Associate Judges; and
WHEREAS, impartial, equitable, and transparent review
WHEREAS, recognizing the importance of feedback, which is sometimes presented in the
form of complaints, the City desired to create a policy to guide the review, investigation, and
corrective action process for appointees.
WHEREAS, the City Manager recommends adoption of a policy and the City Council
desires to adopt such policy; and
WHEREAS, on October 15, 2024, the attached policy was presented to City Council,
andCity Council provided direction to move forward with said policy as written. NOW,
THEREFORE,
THE COUNCIL OF THE CITY OF DENTON HEREBY RESOLVES:
SECTION 1. The recitals and findings contained in the preamble of this resoiution are
incorporated into the body of this resolution.
SECTION 2. The Policy Statement in “Policy No. 109.05 “Complaint Review, Investigation,
and Corrective Action against City Council Appointees” (Appointee Policy), which is incorporated in
this section, is hereby adopted as an official policy of the City of Denton:
POLICY STATEMENT:
The City of Denton promotes the highest standards of behavior for all employees, including
those appointed to serve by City Council. The City values and takes seriously feedback
received regarding the performance of its employees, feedback that is sometimes presented in
the form of complaints.
To ensure impartial, equitable, and transparent review of such complaints, to provide for the
investigation of such actions when necessary, and to provide guidance for actions that may be
taken in the event a complaint is substantiated, the Human Resources (HR) Department will
accept and review all complaints received according to a tiered system for classifying the
severity of each complaint and determining the appropriate course of action.
The purpose of this policy is to establish a framework for the review process of complaints
made against individual City Council Appointee(s) for conduct that constitutes a violation of
a City of Denton Policy or state or federal law, or for consciously allowing such conduct to
be perpetuated or sustained by employees included within their department(s).
SECTION 3. This Resolution adopts and approves the “Policy Statement’' portion of the
Appointee Policy into the City of Denton Policies and Procedures Manual.
SECTION 4. The policy numbered 109.05 entitled Complaint Review, Investigation, and
Corrective Action against City Council Appointees attached hereto and incorporated herein in its
entirety is hereby approved and adopted.
SECTION 5. The Appointee Policy shall be filed in the official records with the City
Secretary.
SECTION 6. This Resolution shall be effective upon its passage and approval.
The motion to approve this Resolution was made by Joe Holland and seconded by Brian Beck;
the Resolution was passed and approved by the following vote [4 - 3]:
Aye
X
X
Nay
X
Abstain Absent
Mayor Gerard Hudspeth:
Vicki Byrd, District 1 :
Brian Beck, District 2:
Paul Meltzer, District 3 :X
Joe Holland, District 4:X
XBrandon Chase McGee. At Large Place 5 :
Jill Jester, At Large Place 6:X
PASSED AND APPROVED this the 19th day of November, 2024.
BspN
ATTEST:
LAUREN THODEN, CITY SECRETARY
.„: #„„„ I}A
APPROVED AS TO LEGAL FORM:
MACK REINWAND. CITY ATTORNEY
Digitally signed by Susan
Susan Keller Et::r2024.1 1.05 15:2] :33
BY. -06'OO'
DENTON CITY OF DENTON
Policy Number and Title:
Policy Section and Chapter:
Policy Owner & Contact:
Policy Type:
Last Revision Date
109.05 Complaint Review, Investigation, and Corrective Action
[ainst City Council Appointees
Human Resources – Discipline & Separation
Human Resources – (940) 349-8355
Policy
10/ 10/2024
POLICY STATEMENT
The City of Denton promotes the highest standards of behavior for all employees, including those appointed
to serve by City Council. The City values and takes seriously feedback received regarding the performance
of its employees, feedback that is sometimes presented in the form of complaints.
To ensure impartial, equitable, and transparent review of such complaints, to provide for the investigation
of such actions when necessary, and to provide guidance for actions that may be taken in the event a
complaint is substantiated, the Human Resources (HR) Department will accept and review all complaints
received according to a tiered system for classifying the severity of each complaint and determining the
appropriate course of action.
The purpose of this policy is to establish a framework for the review process of complaints made against
individual City Council Appointee(s) for conduct that constitutes a violation of a City of Denton Policy or
state or federal law, or for consciously allowing such conduct to be perpetuated or sustained by employees
included within their department(s).
POLICY
1.Complaint Intake, Review, and Classification
The HR Department will accept and conduct an initial assessment on all Complaints
received to determine the need for further investigation.
b. Complaints must be submitted in writing on paper or via electronic mail to the City’s HR
Director; a written statement will also be accepted through the City’s anonymous reporting
system
c. Employees in receipt of a Complaint must forward the Complaint to the HR Director.
d. Additional information may be requested to proceed if the initial complaint does not
provide sufficient information to evaluate for continuing action.
e. Following initial review, the Assistant Director for Employee Relations (AD-ER) will
classify all complaints received into one of four tier levels as outlined in this policy. The
Tier Determination Memo shall serve as official documentation of this classification
a
11.Outcomes and Notifications
a. Following a review of all complaints by the Assistant Director for Employee Relations and
based on the tier level classification as defined below, the appropriate staff will be notified
and consulted for next steps.
Policy 109.05 Page 1 of 6
b. The Complainant and Named Appointee will be notified of the tier level determination and
next course of action following issuance of the Tier Determination Memo.
c. The HR Director is responsible for all communication with the Claimant, Named
Appointee, and the City Council.
1.
11.
111.
Tier One – While the City Council will not be notified at this level, the HR Director
will inform the complainant of the outcome and conclusion of the complaint
review
Tier Two – if complaints at this level are not sustained, the HR Director will handle
according to Tier 1; if allegations are sustained, the HR Director will notify the
City Council via the next regularly issued Legal Status Report.
Tiers Three and Four - if complaints at this level are not sustained, the HR Director
will determine appropriate action to resolve the Complaint and handle according
to Tier Two; if there is sufficient information or evidence to support moving
forward with a formal investigation, the HR Director will place a closed session
item on the next regularly scheduled meeting to inform the City Council of
preliminary findings and recommendations. If the Appointee needs to be placed
on leave or an emergency meeting is necessary, the HR Director will seek direction
from the City Council and work internally with the appropriate personnel.
111.Investjgations
a. If an external investigation is initiated following the review of a Tier three or four-level
Complaint, the City Council will determine whether to place the Named Appointee on paid
leave during the investigation.
b. Results of the investigation shall be reported to the City Council and Named Appointee.
c. The City Council shall determine and communicate to the HR Director final actions and
closure of the Complaint.
d. When determined necessary, available corrective actions for Named Appointees are subject
to the specific conditions of each employment agreement.
rv.Response and Appeals
a. A named Appointee shall have the opportunity to respond to the HR Director for a
Complaint at any time up to and including during any posted agenda item for the review
or action on the Complaint by the City Council.
b. There is no appeal of any decision by the Assistant Director of Employee Relations or the
City Council by the individual that submitted a Complaint or for the Named Appointee
except as provided for by law.
V.Complaint Confidentiality
a. Submitted Complaints are considered confidential personnel matters and should not be
discussed with anyone outside of the Assistant Director of Employee Relations, the City
Council, the HR Director, or the person filing the Complaint to request additional
information
b. When necessary to conduct an investigation, however, information may be shared with
outside investigators or agencies, Named Appointees, other employees, or individuals.
c. Complaints, statements, and investigations are subject to the federal and state rules
applicable to discovery and the Texas Public Information Act.
Page 2 of 6
VI.Exceptions
a. Nothing in this Policy is intended to interfere with the City Council's authority to review
performance, conduct or complaints related to any appointee or their authority to take any
action related to appointees granted to City Council by state law, city charter, or city
ordinance, either as a part of this process or outside this policy.
b. This Policy is not intended to replace or circumvent the appeals process for Judicial
Decisions on a specific case.
ROLES AND RESPONSBILITIES
1.Named City Council Appointees are expected to answer truthfully, completely, and fully
participate in any review or investigation including but not limited to assisting the HR Department
or Investigators with any information requested, answering questions, or providing statements.
11.HR Assistant Director, Employee Relations will review and classify all Complaints received into
one of the four tier classifications; responsible for conducting due diligence to recommend
reasonable and appropriate action to resolve Tier One and Two Complaints and whether there is
sufficient information or evidence to support moving forward with formal investigations for Tier
Three and Four Complaints; responsible for official communication with the HR Director via the
Tier Determination Memo and Summary Report.
111.HR Director provides oversight for the Complaint Review Process including establishing
associated procedures for the efficient and thofough review of all Complaints; responsible for
determining reasonable and appropriate action to resolve Tier One and Two Complaints and
whether there is sufficient information or evidence to support moving forward with formal
investigations for Tier Three and Four Complaints; responsible for final communication with
Complainants, Named Appointees, and City Council Members via Legal Status Reports and
presentations during closed session meetings; also responsible for communication with external
lnvestrgators.
TV.City Council Members are responsible for reviewing Tier Three and Four Complaints and
Summary Reports, including HR findings and recommendations, and determining appropriate
course of action to resolve the Complaint; if an external investigation is initiated, responsible for
determining whether to place Named Appointee on paid leave during the investigation.
STANDARDS
While the following information cannot capture every possible scenario and potential resolution, it is
included with the intention to provide guidance on standard Complaint tier classification and potential
corrective actions. Justification for classification and final resolution will be documented appropriately via
the Tier Determination Memo and Summary Report, respectively.
Page 3 of 6
TIER
ONE
DESCRIPTION POTENTIAL RESOLUTIONS
:based on Outcome
Unfounded or Not Sustained complaint; there
is not enough information or evidence to
support classification of the Complaint into
one of the other three tiers, or that with
sufficient information or evidence, there is no
violation of law, or alleged violations of City
policy or procedure not covered by Tier Two,
Tier Three, or Tier Four-level complaint.
•
•
•
mediation, policy clarification, coaching,
support resources, follow up procedures,
and workplace adjustments;
Increase the tier level;
Take no action (not sustained)
May include interpersonal disagreements,
work culture conflict, scheduling conflicts,
miscommunication, and Managerial Issues.
TWO •
•
•
•
Request the Named Appointee attend a
course, training, or coaching session;
Increase the tier level;
Take appropriate Action according to
City Policy
Take no action (not sustained)
Includes alleged violations of policies and
procedures included in the City of Denton
Policy and Procedures Manual not covered by
Tier Three or Tier Four-level complaints
THREE Provide resolutions which may include
mediation, policy clarification, coaching,
support resources, follow up procedures,
and workplace adjustments;
Take appropriate Corrective Action
according to City Policy
Take no action (not sustained)
includes alleged violations of Fiscal City
Policy and violations of Federal, State, and
local law including a City ordinance. The
policies expressly included in Tier Four below
and any state or federal law related to such
policy are excluded from Tier Three
•
•
•
FOUR Includes alleged violations of the following
policies, or allegations of state or federal law
related to these policies:
Provide resolutions which may include
mediation, policy clarification, coaching,
support resources, follow up procedures,
and workplace adjustments;
Require the Named Appointee to attend
course or training, or coaching session;
Initiate an external investigation;
Take appropriate Corrective Action
according to City Policy
Take no action (not sustained)
•
•
•
10.00 Ethics
100.01 Equal Employment Opportunity
Standards of Conduct for Employees,
Sections 108.01 Duty to Notify of Arrests,
Charges and Convictions; 108.05
Workplace Violence Prevention; 108.06
Retaliation Act; 108.10 Harassment
Prevention; 108.11 Drug and Alcohol-Free
Workplace; and 108.12 Anti-Substance
Abuse and Rehabilitation
•
•
•
•
•
Page 4 of 6
DEFINITIONS
1. “City Council Appointee” is a position appointed by the City Council as defined in the City Charter
including the City Manager, City Attorney, Municipal Court Judge, Associate Judges, and the City
Internal Auditor.
2. “City Policy or Procedure” as it applies to all other City of Denton employees and does not include
violations resulting from actions outside of the course and scope of employment.
3.Complaint” is a written allegation or report, with reference to a specific policy and/or violation of
law, submitted as provided for in this Policy concerning the conduct or actions of a City Council
Appointee. Violations may include a failure to act to prevent conduct or actions of employees in
their department(s) or for which the City Council Appointee acts in a supervisory role, indicating
a potential violation of policies, laws, or ethical standards of the City of Denton.
4."Determination Criteria” represents the metrics used to identify the outcome-based resolution or
the need for an investigation:
Nature of the complaint – Assessment of the severity of the complaint as classified under
the Tier Determination Memo.
a
b. Frequency and pattern – Analysis of patterns of conduct or repeated complaints about the
same individual or situations
c. Impact on work environment – Evaluation of the conduct in question including the severity
of the impact it has caused.
Credibility of the complainant – Analysis of the credibility of the individual making the
complaint, including their position and potential motives.
d
e. Evidence availability – Determination of preliminary evidence or documentation
supporting the complaint, such as emails, texts, or witness statements.
Legal implications – Assessment of all potential legal ramifications.f
g. Employee safety and well-being – Consideration of the safety and well-being of employees
involved, particularly in cases of harassment or violence.
h. City policies or procedures – Evaluation of City policies and/or procedures as it pertains to
all other City employees including but not limited to ethics, conduct, or employee relations.
5.“Disposition Classification“ represents the outcome of a Complaint review:
Exonerated – Due Diligence Review or Investigation established that the act complained
of did occur, but that it was justified, legal and proper.
a
b. Not sustained –Due Diligence Review or Investigation failed to produce sufficient
evidence to clearly prove or disprove the allegation
c. Sustained – Due Diligence Review or Investigation established that the alleged misconduct
did occur.
d. Unfounded – Due Diligence Review or Investigation established that the act complained
of did not occur.
6. “Fiscal City Policies” are any City policy relating to taxation, public revenues, or public debt, or
connected with the use, management, or handling of city funds, services, or property
Page 5 of 6
7. “Judicial Decisions” are a court’s determination including ruling on motions, final trial decisions
of guilt and innocence, setting of bail and conditions of bond, issuing warrants, etc. Judicial
decisions should only be subject to legal appellate court review.
8.'-Managerial Issues“ represent a category of challenges unrelated to violations of policy or law and
can include:
Approachability– Concerns that a manger is not approachable or open to discussing issues,
which can often be resolved by encouraging more open dialogue.
Communication Style– Employees feeling that their manager’s communication is unclear
or overly formal, leading to misunderstandings that can be addressed through direct
feedback.
Delegation of Tasks – Concerns regarding an uneven distribution of workload or unclear
delegation of tasks, which can be resolved through a discussion about team responsibilities.
Feedback Frequency– Concerns regarding a lack of feedback on performance, which can
be addressed by requesting more regular check-ins.
Recognition and Praise – Concerns about a lack of acknowledgement for team members
efforts, which can be discussed in a casual conversation about team dynamics.
C.
e.
9.Named Appointee” is the subject of a Complaint.
REFERENCES
Policy No. 109.0 1 Corrective Action
REVISION HISTORY
Policy OwnerR)Summary
+ Initial Policy Adoption
• Policy Statement Adopted by City Council on xx/xx/xxxx
4869-2872-7738, v. 1
Page 6 of 6